UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
FORM 13F
FORM 13F COVER PAGE
Report for the Calendar Year or Quarter Ended: March 31, 2000
Check here if Amendent []; Amendment Number:
This Amendment (Check only one.): [] is a restatement.
[] adds new holdings entries.
Institutional Investment Manager Filing this Report:
Name: SMC Capital, Inc.
Address: 4350 Brownsboro Road, Suite 310
Louisville, Kentucky 40207
13F File Number: 801-44124
The institutional investment manager filing this report and the person by whom
it is signed hereby represent that the person signing the report is authorized
to submit it, that all information contained herein is true, correct and
complete, and that it is understood that all required items, statements,
schedules, lists, and tables, are considered integral parts of this form.
Person Signing this Report on Behalf of Reporting Manager:
Name: Frank Kiley
Title: C.P.A.
Phone: 502-893-4200
Signature, Place, and Date of Signing:
Frank Kiley Louisville, Kentucky April 28, 2000
Report Type (Check only one.):
[x] 13F HOLDINGS REPORT
[ ] 13F NOTICE.
[ ] 13F COMBINATION REPORT.
List of Other Managers Reporting for this Manager:
I AM SIGNING THIS REPORT AS REQUIRED BY THE SECURITIES EXCHANGE ACT OF 1934.
<PAGE>
FORM 13F SUMMARY PAGE
Report Summary:
Number of other Included Managers: 0
Form 13F Information Table Entry Total: 174
Form 13F Information Table Value Total: $212,785
<TABLE>
FORM 13F INFORMATION TABLE
VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY
NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DSCRETN MANAGERS SOLE SHARED NONE
- ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- --------
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C>
ACCLAIM ENTERTAINMENT INC. COM 004325205 37 11300 SH SOLE 11300
ACKERLEY GROUP COM 004527107 154 10200 SH SOLE 10200
ADAPTIVE BROADBAND COM 00650m104 893 16700 SH SOLE 16700
AKSYS LTD COM 010196103 220 20000 SH SOLE 20000
AMERICAN EXPRESS CO COM 025816109 437 2937 SH SOLE 2937
AMERICAN TOWERS CORPORATION COM 029912201 3456 70000 SH SOLE 70000
AMGEN INC COM 031162100 466 7600 SH SOLE 7600
AMKOR TECHNOLOGY COM 031652100 531 10000 SH SOLE 10000
ANALOG DEVICES INC. COM 032654105 805 10000 SH SOLE 10000
APPLIED MICRO CIRCUIT CORPORAT COM 03822w109 2401 16000 SH SOLE 16000
AT HOME CORP COM 045919107 329 10000 SH SOLE 10000
AVANEX CORP COM 05348w109 2261 14900 SH SOLE 14900
BIOGEN INC COM 090597105 349 5000 SH SOLE 5000
BLUESTONE SOFTWARE INC. COM 09623p102 675 20000 SH SOLE 20000
BOTTOMLINE TECHNOLOGIES INC. COM 101388106 288 7900 SH SOLE 7900
BROADCOM CORPORATION COM 111320107 9715 40000 SH SOLE 40000
BROADVISION INC COM 111412102 673 15000 SH SOLE 15000
BROCADE COMMUNICATIONS SYSTEMS COM 111621108 897 5000 SH SOLE 5000
C CUBE MICROSYSTEMS INC COM 125015107 728 10000 SH SOLE 10000
C MORE MEDICAL SOLUTIONS COM 125921908 171 98000 SH SOLE 98000
CABLEVISION SYSTEMS CORP COM 12686c109 1093 18000 SH SOLE 18000
CHASE MANHATTAN NEW COM 16161A108 976 11195 SH SOLE 11195
CHECKFREE HOLDINGS INC. COM 162816102 4794 68000 SH SOLE 68000
CHURCHILL DOWNS INC COM 171484108 388 14700 SH SOLE 14700
CISCO SYS INC COM 17275R102 4298 55596 SH SOLE 55596
CITIZENS FINL CORP KY CL A COM 174613109 5633 364810 SH SOLE 364810
CLEAR CHANNEL COMMUN COM 184502102 3520 50975 SH SOLE 50975
COCA COLA CO COM 191216100 360 7671 SH SOLE 7671
COHERENT INC. COM 192479103 1560 30000 SH SOLE 30000
COMCAST CORP CL A SPECIAL COM 200300200 958 22078 SH SOLE 22078
COMCAST CORP CLASS A COM 200300101 911 22078 SH SOLE 22078
COMMERCE BANCORP COM 200519106 862 23295 SH SOLE 23295
COMMONWEALTH BANCSHARES INC COM 1615 359 SH SOLE 359
COMMONWEALTH FINANCIAL CORP COM 365 58 SH SOLE 58
COMMUNICATION INTELLIGENCE COM 20338k106 119 20000 SH SOLE 20000
CONEXANT SYSTEMS INC. COM 207142100 710 10000 SH SOLE 10000
CORNING INC. COM 219350105 4158 21431 SH SOLE 21431
COSTCO WHOLESALE CORPORATION COM 22160k105 1051 20000 SH SOLE 20000
COVAD COMMUNICATIONS GROUP COM 222814204 239 3300 SH SOLE 3300
DIGITAL MICROWAVE CORP COM 253859102 2371 70000 SH SOLE 70000
DSL.net COM 262506108 221 10000 SH SOLE 10000
ECHOSTAR COMMUNICATIONS CORP C COM 278762109 7094 89800 SH SOLE 89800
EXTENSITY INC. COM 302255104 1253 26100 SH SOLE 26100
FEDERAL TRUST COM 314012105 177 70000 SH SOLE 70000
FIRST FEDERAL BANKSHARES COM 232 30000 SH SOLE 30000
FOODARAMA SUPERMARKETS INC COM 344820105 241 9800 SH SOLE 9800
GEMSTAR INTERNATIONAL GRP COM g3788v106 1720 20000 SH SOLE 20000
GENERAL ELEC CO COM 369604103 768 4934 SH SOLE 4934
GENERAL MOTORS CLASS H COM 370442832 554 4450 SH SOLE 4450
GOOD GUYS, INC. COM 382091106 271 65600 SH SOLE 65600
GREY ADVERTISING INC. COM 397838103 853 2085 SH SOLE 2085
GUIDANT CORP COM 401698105 1181 20051 SH SOLE 20051
HEARTPORT INC. COM 421969106 545 117800 SH SOLE 117800
HIGH SPEED ACCESS CORP COM 42979u102 627 48000 SH SOLE 48000
HISPANIC BROADCASTING CORP. COM 43357b104 340 3000 SH SOLE 3000
IDT CORP COM 448947101 270 6500 SH SOLE 6500
IMPSAT FIBER NETWORKS INC. COM 45321t103 504 18000 SH SOLE 18000
INCYTE PHARMA INC COM 45337c102 1312 15000 SH SOLE 15000
INFINEON TECHNOLOGIES, INC. COM 45662n103 5031 87500 SH SOLE 87500
INFINITY BROADCASTING CORP COM 45662s102 2260 69800 SH SOLE 69800
INKTOMI CORPORATION COM 457277101 4095 21000 SH SOLE 21000
INTEL CORP COM 458140100 1267 9605 SH SOLE 9605
INTUIT INC. COM 461202103 272 5000 SH SOLE 5000
JACKSONVILLE BANCORP COM 101 10000 SH SOLE 10000
JOHNSON & JOHNSON COM 478160104 424 6040 SH SOLE 6040
KROGER CO COM 501044101 747 42537 SH SOLE 42537
LABONE INC. COM 50540l105 109 16500 SH SOLE 16500
LAMAR ADVERTISING CO. COM 512815101 455 10000 SH SOLE 10000
LANCER INC. COM 514614106 43 10100 SH SOLE 10100
LATTICCE SEMICONDUCTOR COM 518415104 677 10000 SH SOLE 10000
LEAP WIRELESS INT'L INC COM 521863100 1135 11500 SH SOLE 11500
LEXMARK HOLDING INC. COM 529771107 3130 29600 SH SOLE 29600
LIZ CLAIBORNE COM 539320101 300 6546 SH SOLE 6546
MARKETING SPECIALISTS CORP. COM 57060r107 124 45000 SH SOLE 45000
MAXIM INTEGRATED PRODUCTS COM 57772k101 2842 40000 SH SOLE 40000
MEDTRONIC INC COM 585055106 775 15075 SH SOLE 15075
MERCURY INTERACTIVE COM 589405109 2853 36000 SH SOLE 36000
MICROSOFT CORP COM 594918104 3552 33429 SH SOLE 33429
MOTOROLA INC COM 620076109 796 5449 SH SOLE 5449
NATIONAL BEVERAGE CORP COM 635017106 90 11300 SH SOLE 11300
NATIONAL SEMICONDUCTOR COM 637640103 1412 23240 SH SOLE 23240
NATURAL MICROSYSTEMS CORP COM 638882100 1038 12100 SH SOLE 12100
NBC INTERNET COM 62873d105 1615 37500 SH SOLE 37500
NEORX CORP COM 640520300 478 25000 SH SOLE 25000
NETOBJECTS INC COM 64114L102 384 16900 SH SOLE 16900
NETWORK APPLIANCE CORP COM 64120l104 4137 50000 SH SOLE 50000
NEXTEL COMMUNICATIONS CL A COM 65332V103 2965 20000 SH SOLE 20000
NOKIA CORPORATION COM 654902204 721 3250 SH SOLE 3250
ONEMAIN.COM INC COM 68267p109 226 20000 SH SOLE 20000
P-COM INC COM 693262107 2775 150000 SH SOLE 150000
PATINA OIL & GAS COM 703224105 1587 117000 SH SOLE 117000
PEPSI BOTTLING GROUP INC COM 713409100 500 25000 SH SOLE 25000
PER-SE TECHNOLOGIES, INC. COM 584028104 196 33332 SH SOLE 33332
PETSMART, INC. COM 716768106 60 20000 SH SOLE 20000
PHARMACOPEIA INC. COM 71713b104 1470 30000 SH SOLE 30000
PINNACLE HOLDINGS COM 72346n101 537 10000 SH SOLE 10000
PIXAR COM 725811103 782 21900 SH SOLE 21900
PMC-SIERRA INC COM 69344f106 1222 6000 SH SOLE 6000
POINTE FINANCIAL COM 73084p100 728 86900 SH SOLE 86900
QUALCOMM COM 747525103 4550 30475 SH SOLE 30475
QUIXOTE CORP COM 749056107 165 13500 SH SOLE 13500
RES-CARE INC. COM 760943100 134 14300 SH SOLE 14300
SANDISK CORPORATION COM 80004c101 19036 155400 SH SOLE 155400
SEMTECH CORP COM 816850101 1281 20000 SH SOLE 20000
SEPRACOR INC. COM 817315104 447 6136 SH SOLE 6136
SOMERSET GROUP INC. COM 834706103 196 10806 SH SOLE 10806
SONY CORP ADR NEW COM 835699307 1144 4085 SH SOLE 4085
SOUTHMARK CORP. COM 844544809 1 21918 SH SOLE 21918
STAPLES INC COM 855030102 1019 50957 SH SOLE 50957
STRATEGIA CORP COM 86268Q108 125 83300 SH SOLE 83300
SUN MICROSYSTEMS INC COM 866810104 656 7000 SH SOLE 7000
SUNRISE TECHNOLOGY INTL INC COM 86769L103 99 14100 SH SOLE 14100
TAIWAN SEMICONDUCTOR MFG COM 874039100 1710 30000 SH SOLE 30000
TARGET CORPORATION COM 87612e106 881 11789 SH SOLE 11789
TEKELEC COM 879101103 8539 230000 SH SOLE 230000
TELEPHONE & DATA SYSTEMS COM 879433100 1110 10000 SH SOLE 10000
TEXAS INSTRS INC COM 882508104 2018 12611 SH SOLE 12611
TIBCO SOFTWARE INC. COM 88632q103 293 3600 SH SOLE 3600
TOWNE SERVICES INC. COM 892148107 324 185000 SH SOLE 185000
TRIMERIS INC COM 896263100 749 15000 SH SOLE 15000
U.S. INTERACTIVE INC. COM 90334m109 357 10000 SH SOLE 10000
VENCOR INC COM 92260R102 49 352300 SH SOLE 352300
VERIO INC. COM 923433106 901 20000 SH SOLE 20000
VISX INC DEL COM 92844S105 657 36000 SH SOLE 36000
WACKENHUT CORP CLASS B COM 929794303 240 23875 SH SOLE 23875
WALGREEN CO COM 931422109 762 29596 SH SOLE 29596
WARNER LAMBERT CO COM 934488107 913 9350 SH SOLE 9350
WESTWOOD ONE, INC. COM 961815107 964 26600 SH SOLE 26600
XILINX COM 983919101 5732 69212 SH SOLE 69212
YOUNG BROADCASTING COM 987434107 570 30000 SH SOLE 30000
PRGN APRIL 35 CALLS STK OPT 1972 600 SH SOLE 600
RMBS MAY 70 CALLS STK OPT 2229 100 SH SOLE 100
CARIBOU COFFEE CO.SERIES A PRE PFD 97 15000 SH SOLE 15000
CARIBOU COFFEE CO.SERIES B PRE PFD 196 28000 SH SOLE 28000
EMMS CONV. PFD. 6.25% PFD 291525202 322 5000 SH SOLE 5000
FELCOR SUITE HOTELS CONV.PFD. PFD 314305202 158 10000 SH SOLE 10000
GLOBAL CROSSING 7% CONV. PFD. PFD 37932j301 485 2000 SH SOLE 2000
GLOBALSTAR 8% CONV. PFD. 144A PFD 379364508 344 10000 SH SOLE 10000
KMART FING I PFD TRCV 7.75% PFD 498778208 323 7500 SH SOLE 7500
MLCO 7.12% PFD. PFD 59021g204 210 10000 SH SOLE 10000
NOVA CORP PFD. 9.50% PFD 66977t205 201 10000 SH SOLE 10000
PSIX PFD. PFD 74437C309 800 12500 SH SOLE 12500
RHYTHMS NETCONNECTIONS 144A CO PFD 762430304 250 2500 SH SOLE 2500
SINCLAIR BROADCASTING CONV. PF PFD 829226505 585 20000 SH SOLE 20000
SUIZA FOODS 5 1/2% CONV.PFD. 2 PFD 86507g408 856 25000 SH SOLE 25000
VERIO PFD. PFD 923433304 280 5000 SH SOLE 5000
AMERICAN TOWER CORP 6.25% 10/1 CONV BD 029912AA8 1057 500000 PRN SOLE 500000
AMKR CONV. BONDS, 5%, 3-15-200 CONV BD 031652AF7 379 350000 PRN SOLE 350000
AMT BONDS 6.25%, 10-15-09 CONV BD 029912aa0 634 300000 PRN SOLE 300000
AOL CONV. BONDS 0%, 11-30-2019 CONV BD 02364JAC8 412 750000 PRN SOLE 750000
ATHM CONV. BONDS 4%, 12-28-201 CONV BD 045919aa5 786 1500000 PRN SOLE 1500000
BIGT CONV. BONDS, 5 1/2%, 9-15 CONV BD 72346NAC5 454 500000 PRN SOLE 500000
CCU CONV. BONDS, 1.50%, 12-01- CONV BD 184502AE2 93 100000 PRN SOLE 100000
DISH CONV. BONDS 4.875%, 01-01 CONV BD 278762AB5 864 500000 PRN SOLE 500000
EXDS CONV. BONDS 4.75%, 07-15- CONV BD 302088AG4 1030 500000 PRN SOLE 500000
GILTF CONV. BONDS 4.25%, 3-2-2 CONV BD 375255AC0 170 200000 PRN SOLE 200000
HEARTPORT INC. CONV BD 421969ac0 239 500000 PRN SOLE 500000
INCY CONV BONDS 5.50% 2/1/07 CONV BD 45337caa0 1033 1300000 PRN SOLE 1300000
INTERLIANT CONV. BOND 144A, 7% CONV BD 458742aa1 269 400000 PRN SOLE 400000
JACOR COMMUNICATIONS INC. 0%,2 CONV BD 469858AB0 185 300000 PRN SOLE 300000
KELLSTROM CONV. BONDS 5.50%, 6 CONV BD 488035ae6 268 500000 PRN SOLE 500000
LAMR CONV. BONDS 5.25%, 9-15-2 CONV BD 512815af8 113 100000 PRN SOLE 100000
LIBERTY MEDIA CONV.BONDS 4%, 1 CONV BD 530715AF8 769 500000 PRN SOLE 500000
MACRONIX INT'L CO LTD 1% 2-1-0 CONV BD 556103AB5 300 300000 PRN SOLE 300000
NEORX CORP CONV BD 640520AA0 76 200000 PRN SOLE 200000
PCOM CONV. NOTES 4.25% DUE 11- CONV BD 693262ab3 220 250000 PRN SOLE 250000
PCOM CONV. NOTES 4.25% DUE 11- CONV BD 693262aa5 220 250000 PRN SOLE 250000
QUADRAMED CONV. BONDS, 5.25% 5 CONV BD 74730waa9 51 115000 PRN SOLE 115000
SPEEDWAY MOTORSPORTS INC CONV BD 847788AA4 478 500000 PRN SOLE 500000
TELEFONOS DE MEXICO 4.25% 6/15 CONV BD 879403ad5 375 250000 PRN SOLE 250000
TKLC CONV. BONDS 3.25%, 11-02- CONV BD 879101aa1 3298 1500000 PRN SOLE 1500000
VENTRITEX INC CONV BD 922814AA6 148 150000 PRN SOLE 150000
WHOLE FOODS CONV. BONDS 0%, 3- CONV BD 966837aa4 277 800000 PRN SOLE 800000
ROBERTSON STEPHENS CONTRARIAN MUT FD 770648301 105 10882.321SH SOLE 10882.321
</TABLE>
